JerseyCityRecruiter Since 2001
the smart solution for Jersey City jobs

Senior IT Auditor - Broker Dealer

Company: TD Ameritrade
Location: Jersey City
Posted on: January 9, 2022

Job Description:

Location Jersey City, New Jersey, United States Requisition ID 2021-74029 Category Risk Position Type Regular CO Salary Range N/A The Internal Audit Department (IAD) of The Charles Schwab Corporation provides independent and objective assessments to figure out whether all significant risks are identified and appropriately reported by management and risk functions to the Board and Executive Management, to evaluate whether risks are adequately controlled, and to challenge Executive Management to improve the efficiency of governance processes, risk management, and internal controls. The Broker-Dealer/Asset Management enterprise team is seeking a Senior Auditor (Senior Specialist internal title). The Broker-Dealer/Asset Management team provides internal audit coverage of the business process activities and compliance functions for Schwab's registered domestic and international broker-dealers and registered retail and institutional investment advisors. The team's scope includes audit execution and oversight for Schwab's: (i) client-facing activities supporting retail investors and independent investment advisors on Schwab's platform and their clients; (ii) client product solutions and market expertise; (iii) portfolio advisory services and research; (iv) asset management functions; (v) corporate client services, including stock plan services, retirement plan services, and compliance and employee trade monitoring solutions; and (vi) middle and back office operational functions. Reporting to a Managing Director in the Broker-Dealer/Asset Management enterprise team, the Senior Specialist will have responsibility for assisting in the for the independent and objective assurance activity designed to improve the organization's operations and compliance with key regulations by evaluating and improving the efficiency of risk management, control, and governance processes. What you are good at

  • Audit Execution: Participate in the planning and execution of internal audit assignments, ensuring work is performed in accordance with IIA standards and IAD policies and procedures. Responsibilities will include: scheduling and participation in audit meetings; participation in scoping discussions; drafting of audit results; design and execution of testing; and completion and review of work papers. Additionally, assist in the tracking of team operations including audit status, issue status, and budgets.
  • Issues Identification: Based on the results of audit testing, identify and draft audit observations for review by the Internal Audit Manager/Senior Manager (and above levels) and subsequent debriefing with the key partners (typically VP-level and below).
  • Issue Management and Validation: Conduct validation testing of the audit issue action plans completed by the business.
  • Risk Assessment: Under the direct supervision of IAD Management, participate in the annual Risk Assessment process, including scheduling and participation in meetings with partners, and the scoring and documentation of risk ratings.
  • Coaching: Provide support, mentoring, and feedback to audit team members throughout the audit. Provide assistance with onboarding and ongoing support to new team members.
  • Administration/Training: Completion of firm-wide and departmental administration and training requirements.
  • Other Initiatives/Special Projects: As needed, assist with special projects related to business operational improvement or internal team needs. What you have
    • 3 - 5+ years of financial services-related audit experience with growing responsibility. Broker Dealer/Asset Management experience specific to internal audit and/or similar Big 4 accounting or regulatory experience a plus.
    • Demonstrated experience performing internal audits amongst a sophisticated operational and regulatory environment.
    • Ability to work as a member of a project team and cultivate a strong working relationship with external co-sourcing providers and internal lines of businesses.
    • CPA, CIA, CISA strongly preferred. Other relevant certifications will be considered.
    • Understanding of risks and internal controls and the ability to evaluate and figure out adequacy and efficiency of controls.
    • Stays current on industry and regulatory issues and standard methodologies for AML; imparts this knowledge to the team and the auditees.
    • Excellent analytical skills, including the ability to anticipate issues and to craft appropriate solutions.
    • Strong verbal and written communication skills with a shown ability to articulate effectively and authoritatively.
    • Ability to travel 15-20% Why work for us? Own Your Tomorrow embodies everything we do! We are committed to helping our employees ignite their potential and achieve their dreams. Our employees get to play a central role in reinventing a multi-trillion-dollar industry, creating a better, more modern way to build and manage wealth. Benefits: A competitive and flexible package designed to empower you for today and tomorrow. We offer a competitive and flexible package designed to help you make the most of your life at work and at home-today and in the future. Explore further . Schwab is committed to building a diverse and inclusive workplace where everyone feels valued. As an Equal Opportunity Employer, our policy is to provide equal employment opportunities to all employees and applicants without regard to any status that is protected by law. Please click here to see the policy. Schwab is an affirmative action employer, focused on advancing women, racial and ethnic minorities, veterans, and individuals with disabilities in the workplace. If you have a disability and require reasonable accommodations in the application process, contact Human Resources at applicantaccessibility@schwab.com or call 800-275-1281 . TD Ameritrade, a subsidiary of Charles Schwab, is an Equal Opportunity Employer. At TD Ameritrade we believe People Matter. We value diversity and believe that it goes beyond all protected classes, thoughts, ideas, and perspectives. Get the answers to the most frequently asked questions about working at Schwab and TD Ameritrade. Schwab is committed to building a diverse and inclusive workplace where everyone feels valued. As an equal employment opportunity employer, our policy is to provide equal employment opportunities to all employees and applicants without regard to any status that is protected by law (Equal Employment Opportunity policy ). Schwab is also an affirmative action employer, focused on advancing women, minorities, veterans, and individuals with disabilities in the workplace. We believe diversity and inclusion are part of our success as a company and our purpose of serving every client with passion and integrity. The Charles Schwab Corporation provides a full range of brokerage, banking, and financial advisory services through its operating subsidiaries. Its broker-dealer subsidiary, Charles Schwab & Co., Inc. (member SIPC ), offers investment services and products, including Schwab brokerage accounts. Its banking subsidiary, Charles Schwab Bank, SSB (member FDIC and an Equal Housing Lender), provides deposit and lending services and products. Access to Electronic Services may be limited or unavailable during periods of peak demand, market volatility, systems upgrade, maintenance, or for other reasons. TD Ameritrade is an Equal Opportunity Employer. At TD Ameritrade we believe that People Matter. We value diversity and believe that it transcends all protected classes, thoughts, ideas, and perspectives. Our commitment to building an inclusive culture is aimed at attracting and retaining diverse talent, clients, and shareholders to the firm. It's a belief that's core to the success of our organization. TD Ameritrade, Inc. (member FINRA/SIPC), a subsidiary of The Charles Schwab Corporation. TD Ameritrade is a trademark jointly owned by TD Ameritrade IP Company, Inc. and The Toronto-Dominion Bank. This site is designed for U.S. residents. Non-U.S. residents are subject to country-specific restrictions. Learn more about our services for non-U.S. residents .

Keywords: TD Ameritrade, Jersey City , Senior IT Auditor - Broker Dealer, Accounting, Auditing , Jersey City, New Jersey

Click here to apply!

Didn't find what you're looking for? Search again!

I'm looking for
in category
within


Log In or Create An Account

Get the latest New Jersey jobs by following @recnetNJ on Twitter!

Jersey City RSS job feeds